VP, Compliance Advisory – Corporate Banking

Job description

​Job Responsibilities

• Provide quality advisory service (including internal users' queries, regulator's queries/ on-site/ off-site examination, product program(s), etc.) on a timely basis to ensure compliance with all applicable statutory, regulatory and internal requirements related to the Branch's business that are not covered by AML/CFT Compliance Team

• Disseminate information on statutory, regulatory and internal requirements related to the Branch's business that are not covered by AML/CFT Compliance Team to all relevant parties on a timely basis

• Develop, revise, maintain policies and procedures (where applicable) in response to all applicable statutory, regulatory and Head Office requirements related to the Branch's business (that are not covered by AML/CFT Compliance Team) on a timely basis

• Handle registration, de-registration of Relevant Individual & Executive Officer, Technical Representative & Responsible Officer and corporate licensing related to regulated activities, insurance agency to ensure compliance with all applicable statutory, regulatory and internal requirements in these aspects

• Develop and deliver compliance training on applicable statutory, regulatory and Head Office requirements related to the Branch's business (that are not covered by AML/CFT Compliance Team) in accordance with the Compliance Plan I directive from Head Office or Local Management/ applicable statutory or regulatory requirements on a timely basis

• Conduct compliance review on applicable statutory, regulatory and Head Office requirements related to the Branch's business (that are not covered by AML/CFT Compliance Team) in accordance with the Compliance Plan I directive from Head Office/ Management on a timely basis.

• Handle complaint(s) that are not covered by AML/CFT Compliance Team in accordance with the Branch's Complaint Handling Procedure

• Monitor new statutory/ regulatory developments and news related to the Branch business (that are not covered by AML/CFT Compliance Team) on regular basis

• Provide support to Head of Compliance/ Team Head in ad-hoc projects I liaison with regulators/ Group Audit

Job Requirements

• Degree holder in Accounting, Business Administration, Finance or Law or related discipline

• Preferably with professional qualification in accounting/ banking

• Minimum 6 years' experience in banking industry and/or financial regulator with hand-on compliance experience on general compliance, treasury and wealth management activities

• Sound knowledge on various statutory and regulatory requirements relevant to banking industry and regulated activities

• Broad product knowledge of corporate banking business and wealth management activities

• Good command of both written and spoken English and Chinese

• Good PC knowledge

• Good interpersonal and problem solving skills

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, nestor.roldan@charterhouse.com.hk Web: www.charterhouse.com.hk

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